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Mid-level, metro role at a well-known asset manager but specialized compliance reduces applicant pool.
Specialized investment compliance skills and regulatory knowledge limit cross-industry transferability.
Explicit 5+ years, mandatory investment compliance experience and regulatory knowledge make filters stringent.
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Perform End of Day portfolio compliance monitoring for global retail and institutional investment products.
Investigate, classify, report, and resolve portfolio compliance breaches according to policies and regulatory requirements.
Coordinate with Portfolio Managers and global teams to ensure accurate coding and interpretation of investment restrictions and enhance compliance monitoring processes.
5+ years of experience in the investment management industry, preferably in investment compliance.
Experience with investment compliance guideline monitoring is mandatory; rule coding experience preferred.
Familiarity with regulatory environments like UCITS, SICAV, MPF, and Investment Company Act of 1940 is advantageous.
Good knowledge of Equities, Fixed Income, and Derivatives instruments.
Experienced in interpreting and implementing investment management agreements within portfolio compliance contexts.
Comfortable managing regulatory compliance processes under tight deadlines with strong attention to detail.
Capable of collaborating globally across investment compliance, product, and client service teams to maintain robust compliance controls.